• What Canadian investors want in a modern SRO

    The financial services sector in Canada is operating in a rapidly changing and dynamic environment. These changes have been brought about through significant world events, new technologies and innovative business models. In addition, the need to maintain and enhance investor confidence in Canada’s capital markets and the regulatory system that protects them has never been
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  • Leveraging

    BORROWING TO INVEST Borrowing money to invest is often referred to as “leveraging” and is a risky investment strategy. When you invest your own money your potential loss is limited to the amount of money that you invest. However, when you borrow to invest you can lose more money than you have personally invested, and
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  • Securities Sold Outside the Dealer

    All securities related business must be conducted by an advisor through their dealer. Do not invest your money if you believe that an advisor is offering you securities outside of the dealer. Some signs that you are being offered securities outside the dealer are: Being presented with documentation that you feel is unusual or does
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  • Be an Informed Investor

    You always have the final say on any investment decision. As with any professional advice the goal is to ensure that you can make an informed decision. Below are some steps you can take to ensure that you and your advisor both have all the information needed during the advisory process. Inform your advisor whenever
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  • What is Suitability?

    All dealers and advisors are required to abide by securities rules and regulations, and the requirements of their SRO. One of the most important requirements under the rules that you should be aware of is the advisor’s obligation to make investment recommendations that are suitable for their clients by performing a suitability assessment whenever: An
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  • Know the Red Flags of Investment Fraud

    Would you know how to spot a fraudulent investment if you were offered one? Below are some red flags to watch out for when investing. You should be very cautious if you encounter any of these situations. Never invest your money in an investment that you do not fully understand and feel comfortable with. Remember
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  • Common Frauds and Scams to Avoid

    Unfortunately, every year Canadians lose millions of dollars to frauds and scams. Three of the most common scams carried out against Canadians are set out below. Learn to spot these scams and the steps you can take to protect yourself. Lottery Scam or Fake Prize Scam What is it? A lottery or fake prize scam is
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  • Investor Knowledge Quiz

    You’re Finished! Thank you for taking the MFDA Fraud Awareness Quiz! For more information and resources on how to identify and avoid fraud please visit the Investor Education section of the MFDA website.